RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
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- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Sep 12, 2018 · Pennington, Nj
- N••• C••••••••• BD affiliatedAug 2, 2018 to Aug 28, 2018 · New York, Ny
- B•••••••• F•••••••• M••••••••• I•• otherMay 17, 2006 to Apr 2, 2009 · New York, Ny
- B•••••••• C•••••• M••••••••• I••• asset managerOct 11, 2004 to May 17, 2006 · New York, Ny
- N••• C••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 28, 2018, registered Sep 12, 2018 (15 days) · Affiliated broker-dealer or bank to wirehouse
- B•••••••• F•••••••• M••••••••• I•• to N••• C•••••••••left Apr 2, 2009, registered Aug 2, 2018 (3409 days) · Other
- B•••••••• C•••••• M••••••••• I••• to B•••••••• F•••••••• M••••••••• I••left May 17, 2006, registered May 17, 2006 (0 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address